- 3M (Maplewood, MN)
- **Job Description:** **Director, Assistant General Counsel - Corporate & Securities ** **Collaborate with Innovative 3Mers Around the World** Choosing where to start ... Impact You'll Make in this Role** As Assistant General Counsel - Corporate & Securities , you will have the opportunity to tap into your curiosity and collaborate… more
- Principal Financial Group (Des Moines, IA)
- …to obtain information, execute routine transactions and resolve problems. + Establish new securities , compliance rules, new accounts, and or new reports to ... issues associated with client data, trade breaks, reconciliation breaks, and/or compliance breaches. Prepare reports and maintain controls in alignment with internal… more
- SMBC (White Plains, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Wells Fargo (Minneapolis, MN)
- **About this role:** Wells Fargo is seeking a Securities Operations Specialist as part of the Trade Settlement team within Wealth and Investment Management (WIM) ... Operations. This team is responsible for operation-related functions for securities settlement related to brokerage and trust accounts for Wealth and Investment… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Securities Operations Specialist as part of the Trade Settlement team within Wealth and Investment Management (WIM) ... Operations. This team is responsible for operation-related functions for securities settlement transactions for the Wells Fargo retail brokerage and trust lines of… more
- Vanguard (Malvern, PA)
- …global finance? Vanguard is seeking a strategic and collaborative attorney to join our Securities Finance Legal team. In this role, you'll be at the forefront of ... drafting and negotiating high-impact legal agreements-from securities lending and repurchase transactions to broker/dealer trading and platform documentation. You'll… more
- Citigroup (Getzville, NY)
- …to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Identify project resources, ... for the group + Recommend and implement new systems and enhancements to securities processing procedures + Provide an in-depth analysis and develop solutions to… more
- Citigroup (Getzville, NY)
- …to assist in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Utilize basic industry and ... used to present information to management + Support implementation of securities processing improvements + Assist with identifying policy gaps and formulating… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $130,000 USD TD is committed to providing fair ... for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS...in Word, Excel and PowerPoint **Who We Are** TD Securities offers a wide range of capital markets products… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $110,000 - $135,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more